Portfolio Compliance Analyst

About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859.

The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel, e mpowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join us and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is located in our New York, NY office.

Equitable is looking for a Portfolio Compliance Analyst to join our team. The Equitable Investment Management (EIM) Portfolio Compliance team oversees compliance with investment guidelines and regulatory requirements on behalf of EIM’s registered mutual funds and private funds. The team supports product development, new product launch, daily compliance testing, regulatory implementation and reporting to the funds’ board of directors.

What You’ll Be Doing

• Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules

• Support new fund launches through implementation of compliance rules

• Update compliance rules based on changes in prospectus disclosures and investment guidelines

• Troubleshoot coding issues and making appropriate adjustments

• Ensure compliance with prospectus guidelines, regulatory requirements and applicable EIM policies and procedures relating to 1940 Act funds

• Collaborate with internal stakeholders and external vendors/sub-advisers

• Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations

• Assist with regulatory filings, annual compliance reviews and testing and applicable board reporting obligations

• Responsible for the investigation, resolution and remediation of compliance errors in coordination with internal and external stakeholders

• Assist with the ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program

• Participate in special projects and strategic initiatives

This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.

The base salary range for this position is $130,000 - $160,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program